iia newsletter feb 2011 draft v 2 2 county/news... · 2012. 4. 17. · cpe credit: 1.0 hour...

Orange County The Institute of Internal

President’s Message

Table of Contents

President’s Message 1

New IIA Members 2

IIA OC Chapter Events 3 – 6

Gleim CIA Review Course 7

Job Ad 8

Note from Employment

Committee 8

Placing a Job Ad 8

Officers & Committees 8

Dear Members,

I am pleased to report that we had a very successful leadership and

communication all

thanking Dale Carnegie associates Steve VerBurg and Brett Potts and our

Programs Committee Chairman Anthony Manarang for hosting and coordinating

this valuable event.

Our next regular

with speaker Tom McNamara, VP of Sales, EthicsPoint with a presentation on

“Evaluating the Effectiveness of a Whistleblower Program”.

Our March calendar leads with a March 7th all

Compliance seminar at Webster University

lunch meeting is the joint IIA and ISACA Tuesday March 15th meeting with speaker

Doug Sanders, Director of Sales, Approva Corp, with a presentation on

“Cont

Please review our website for the most current information about our event

schedule. We also post other audit related training and networking opportunities.

We are in need of your empl

Chairman Rick Neisser can share these opportunities with you as they become

available.

Best Regards,

David Spence Barton, Jr., CIA, CRCM, CISA, CCSA, CISM, CGEIT, CFIRS, CNBE, CRP

IIA Orange County, Pres

For more information about the Orange County IIA, please visit

http://www.theiia.org/chapters/index.cfm/home.page/cid/82

Orange County Chapter The Institute of Internal Auditors

President’s Message

Dear Members,


communication all-day event hosted by Dale Carnegie. Please join me in



this valuable event.

Our next regular meeting is scheduled for Tuesday February 15th at the Irvine Hilton



Our March calendar leads with a March 7th all-day Governance Risk and

Compliance seminar at Webster University – Irvine. Our next regularly scheduled



“Continuous Monitoring & Continuous Audit: What’s Ahead for Auditors”.



We are in need of your employment opportunity referrals. Chapter Employment


available.

Best Regards,


IIA Orange County, President

For more information about the Orange County IIA, please visit our website at


Newsletter February 2011, Issue 15


day event hosted by Dale Carnegie. Please join me in



meeting is scheduled for Tuesday February 15th at the Irvine Hilton



overnance Risk and

Irvine. Our next regularly scheduled



inuous Monitoring & Continuous Audit: What’s Ahead for Auditors”.



oyment opportunity referrals. Chapter Employment



For more information about the Orange County IIA, please visit


2 IIA Orange County Chapter FEBRUARY 2011

Newest IIA Orange County Chapter

Let’s welcome our newest IIA Orange County Chapter members:

Sean Mabee

John Dang

Carlo Condong

Kimberly Ellis

FEBRUARY 2011


Members


Sean Mabee Mirasol Dela Pena

John Dang Shawn Stewart

Carlo Condong Joeal Venkatesan

Kimberly Ellis Kathleen Mazur



3

Evaluating the Effectiveness of a Whistleblower Program

Speaker: Tom McNamara, Vice President of Sales, EthicsPoint Date: Tuesday, February 15, 2011 Time: 11:00 am - 1:00 pm CPE Credit: 1.0 Hour Location: Irvine Hilton (across from John Wayne Airport)

18800 MacArthur Blvd Irvine, CA 92612 Lunch and Self-Parking Included

In this session, Tom McNamara, Vice President of Sales at EthicsPoint, will provide an overview of how to establish, test and evaluate the effectiveness of whistleblower hotlines. Additionally, he will discuss best practices for collecting, managing and ultimately gaining insight from reports of code of conduct violations given increasing governmental legislation, enforcement and the risk of litigation. Through case studies and benchmarking data culled from EthicsPoint's database spanning more than 2400 customers, Tom will provide guidance on optimizing data collection beyond the whistleblower hotline and analyzing the results to mitigate risk across your enterprise, including :

• Best practice guidance for collecting reports of code of conduct violations • Insight around updated trends and benchmarking data relating to fraud and other misconduct

• Practical advice for interpreting and evaluating the effectiveness of the compliance program

About Tom McNamara With more than 20 years of experience in sales and sales management, Tom brings to EthicsPoint an exceptional level of expertise and knowledge in opening and serving new markets. During his 12-year association with the Xerox Corporation, he held a variety of increasingly accountable sales management positions, culminating with sales agency president, leading a team of 30. In 2002, he joined Associated Business Systems (ABS), where he played a key management role in the company's growth from $15 million to $45 million dollars in annual revenue during his six-year tenure. Since joining EthicsPoint, Tom has grown the sales team from 15 to 25 and has put in place operational parameters, improving sales organization numbers company-wide. He holds a BS in Business Administration from Oregon State University.

Please register at http://www.theiia.org/chapters/index.cfm/view.event_detail/cid/82/event_id/16232

Pre-registration Fees: $30 Members | $35 Non-Members |$20 Students |$20 Retirees


Orange County Institute of Internal Auditor’s One-Day Training: Governance, Risk and Compliance Seminar

Date: Monday, March 7, 2011 Time: 8:00 am - 5:00 pm CPE Credit: 8.0 Hours Location: Webster University (near Irvine Spectrum at I-5 and Sand Canyon Road) 32 Discovery Irvine, CA 92618

Breakfast, Lunch and Self-Parking Included

Take advantage of this full-day seminar that offers a wide variety of GRC topics, including: Session 1: Ethics - What is it and Can it Really Be Implemen ted In Companies? Session 2: Best Practices for Establishing an Effective GRC I nfrastructure Session 3: Understanding Internal Audit’s Role in GRC Initia tives Session 4: Evaluating a Company’s Corporate Culture ABOUT OUR SPEAKERS

SESSION 1:

Doug Beeuwsaert, GRC Practice Leader, Lyndon Group Doug is the GRC Practice Leader for Lyndon Group, serving clients with various ethics, compliance and internal audit projects including code of ethics, whistleblower programs, pre-employment screening programs and risk assessments. He has over 20 years of related experience having held CAE and Chief Ethics Officer positions at public and private companies in Southern California and has assisted a number of organizations with various ethics-related initiatives and projects. Doug is also a Certified Internal Auditor.

Matt Melnick, Director of Internal Audit, James Hardie Industries

Matt is the Director of Internal Audit at James Hardie Industries where he has global responsibilities for operational auditing, SOX 404, ERM and the ethics hotline. Prior to joining James Hardie, Matt managed his own SOX 404 consulting company and was an auditor at PricewaterhouseCoopers and Arthur Andersen. Matt holds a business degree from Cal Poly San Luis Obispo with a concentration in Accounting and an MBA from the University of Southern California. Matt is a CPA and CIA.

Patrick Grosso, General Counsel, Tilly’s

Patrick is the Vice President and General Counsel of Tilly’s, where he is responsible for legal, ethical, ERM and corporate governance matters. Prior to joining Tilly’s, Patrick served as counsel to publicly-traded companies and was an attorney with the U.S. Securities and Exchange Commission. Patrick has been practicing law for over 13 years and is also a Certified Public Accountant.

SESSION 2: Gary Fingerhut, VP and General Manager, Axentis / ARC Logics

Gary helps organizations in highly-regulated industries minimize their exposure to compliance and regulatory risks and optimize their business performance through the use of on-demand enterprise governance, risk and compliance technologies. He has more than 25 years of technical and management experience, including Chief Technology Officer, Senior Vice President and co-founder of Axentis. He is a frequent speaker on various GRC topics, including the IIA’s 2010 Western Regional Conference.

SESSION 3: Tom Donahue, Senior Manager, Deloitte & Touche LLP

Tom is a Senior Manager in the Audit Enterprise Risk Services (ERS) practice and has been with Deloitte for over nine years. He specializes in leading control risk assessments and GRC-related projects involving implementations and evaluations within highly complex IT environments. Tom is a lead SAP instructor for the IIA, national presenter for ISACA and is a guest lecturer at UCSB and the UCI Paul Merage School of Business. He holds a current CPA, CISA and an MBA from the Paul Merage School of Business.

SESSION 4: Kyle Croxford, Managing Director, AS Group LLC

Kyle is the managing director at AS Group LLC, a value-added reseller and consultant offering a variety of compliance software solutions. His prior experience includes internal auditing and risk management responsibilities in public accounting and private industry. His public accounting experience includes external and internal audit consulting with two major accounting firms. Kyle served as the CAE for a major metals service center company and a global simulation software company. He is also a CPA.

**SEATING IS LIMITED TO THE FIRST 35 PEOPLE WHO REG ISTER AND PAY ONLINE** REGISTRATION DEADLINE: MARCH 2, 2011

$80 IIA Members | $100 Non-IIA Members (Online Regi stration Required) Register at http://www.theiia.org/chapters/index.cfm/view.event_detail/cid/82/event_id/16262

5

IIA / ISACA Joint Lunch Meeting

“Continuous Monitoring & Continuous Audit: What’s Ahead for Auditors”

Speaker: Doug Sanders, Director of Sales, Approva Corporation Date: Tuesday, March 15, 2011 Time: 11:00 am - 1:00 pm CPE Credit: 1.0 Hour Location: Irvine Hilton (across from John Wayne Airport)

18800 MacArthur Blvd Irvine, CA 92612 Lunch and Self-Parking Included

Continuous Controls Monitoring (CCM) and Continuous Audit (CA) technologies are addressing company needs to move from reactive to proactive governance, risk & compliance (GRC) programs. In this presentation, learn how CCM and CA technologies and best practices are being used by auditors, risk managers, compliance, and finance organizations to automate the monitoring, notification, and resolution of key risks in their organizations. In this session, Approva will discuss the following:

• Business drivers for CCM and CA • What CCM and CA does • How CCM and CA enables auditors to add business value • Best practices for a CCM and CA implementation

About Doug Sanders

Doug is the Western Region Sales Director at Approva Corporation, a leading provider of CCM and CA software services. Doug has over 20 years of experience in the enterprise software business with expertise in business performance monitoring and optimization, business and IT management, software development, and data center management, with companies such as Computer Associates, Compuware, Intralinks, and Approva.

ONLINE PRE-REGISTRATION DEADLINE: MARCH 10, 2011 Pre-Registration Fees: $30 IIA Members | $35 Non-I IA Members | $20 Students | $20 Retirees

Register at http://www.theiia.org/chapters/index.cfm/view.event_detail/cid/82/event_id/16237


SAVE THESE DATES TO EARN YOUR CPE CREDITS! UPCOMING OC IIA FULL-DAY TRAINING SEMINARS

Two-Day Fraud Seminar (16.0 CPE) – May 31 and June 1, 2011

Stay tuned for more information…

The Orange County Chapter of the IIA

Cordially invites you to

Socialize, relax, and network with your colleagues

Wednesdays: February 23 and March 30

6 PM - 8 PM

Ages 21 and up.

The Sports Club/LA Orange County

1980 Main Street (Just off MacArthur) / Complimentary Parking

Irvine, CA 92614 949.975.8400

For more information, please contact: [email protected] (949) 812-1158 Mobile

7

Be in Control on Exam Day Melissa Leonard Gleim Chapter Coordinator

Last month's article highlighted the importance of being in control when preparing for the exam. This article

provides examples of how to remain in control on exam day.

Dress for Success. When taking the exam, dressing for success means wearing comfortable clothes. Sweats, shorts,

and jeans are very appropriate. Wear several layers so you can add or remove clothing to adjust accordingly for

the temperature in the testing room.

Put Down the Books. It is tempting to bring notes, texts, other books, etc., to the exam. Avoid this trap, as you will

only make yourself nervous and confused by trying to cram during those last few minutes before your exam. Be

confident your review program thoroughly prepared you for this day.

Be Early. Arrive at least 30 minutes before your scheduled appointment. Plan ahead for the day of the exam to

avoid the stress of being rushed and the possibility of not making your appointment. You do not want to be forced

to reschedule and delay your ability to take future parts.

Test Day Essentials. Take your Authorization to Test notification from The IIA, your appointment confirmation letter

from Pearson VUE, and at least one valid form of identification with you. If you do not present acceptable

identification and the required paperwork, you will not be allowed to take your exam, your registration will be

voided, you will forfeit your exam registration fee, and you will be required to re-register and pay for that exam part

again in order to sit for it in the future.

Exam Time. Once you have checked in and are ready for the exam, read the exam instructions carefully. View the

tutorial to ensure that you are familiar with how to navigate through the exam. Remember, Gleim CIA Review

emulates the exam environment, allowing you to concentrate on answering questions and maintaining time

management.

Execute Your Game Plan. Answer the 100 questions in chronological order, but flag any questions that you wish to

review later. Utilizing the time management system that you practiced during your exam preparation, answer every

question and then use your remaining time to carefully review each question you flagged. If you made an obvious

mistake, e.g., misread the question, make the correction. Do not, however, begin second-guessing yourself and

changing answers.

I would like to hear from you. How was your exam experience? Do you have any tips or advice to provide to fellow

exam takers? What advantages of being certified have you experienced? Email Gleim at [email protected]

with your questions.

Remember, as an Orange County Chapter member, you will receive a discount on Gleim material. Gleim has been

helping CIA candidates pass the CIA Exam since 1980.

Contact Melissa at 800.874.5346, ext. 131 or [email protected] to take advantage of your chapter

discount or if you have any questions.

You can always find a reason to not take the exam, but remember the value in being certified. There is always a

way to find the time and money to accomplish your goal. Once you are a CIA, you will not only have professional

advantages, but you will also feel personal satisfaction. The self-confidence gained from completing the exam and

using those three letters behind your name will be well worth the energy spent on making the time and finding the

cash.

Melissa Leonard

Chapter Coordinator

[email protected]

Gleim Publications, Inc.

4201 NW 95TH Blvd.

Gainesville, FL 32606

800.874.5346 Ext. 131

Fax 352.375.6940


AUDIT RELATIONSHIP MANAGER - APPLICATIONS -14802 Headquartered in San Francisco, UnionBanCal Corpora tion is a financial holding company with assets of $80 billion at September 30, 2010. Its pr imary subsidiary, Union Bank, N.A., is a full-service commercial bank providing an array of finan cial services to individuals, small businesses, middle-market companies, and major corporations. Th e bank operated 397 banking offices in California, Washington, Oregon and Texas, as well a s two international offices, on September 30, 2010. UnionBanCal Corporation is a wholly-owned su bsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE:MTU), one of the world's largest financial organizations. Visit www.unionbank.com for more information. Description

Monitor and report on the Bank's processes to control enterprise wide data risk management practices.

• Conduct audits and risk-based continuous monitoring to evaluate and analyze the efficiency, effectiveness and sustainability of data management and data quality controls in accordance with IIA and ISACA standards.

• Monitor & report on the Bank's processes to control enterprise wide risk management practices. • Use risk focused continuous monitoring and on-site risk evaluations to evaluate and analyze the efficiency

and effectiveness of controls. • Write detailed risk evaluation programs to test the internal controls using a risk-based approach and analyze

reasonable threats and the resulting exposure. • Document findings and interface with line management to obtain an appropriate response. • Write clear, concise and persuasive risk evaluation reports and other documents summarizing level of

risk, scope, findings, recommendations, and the current status of the issues. • Direct and participate in special audits or project reviews.

Qualifications

Candidates with a combination of financial, operational, and IT audit experience preferred.

• Bachelor's / Master's Degree with a focus in Accounting, Business or Finance preferred.. • Professional certification is highly desirable with at least 5 years of related audit or business experience. • Good understanding of risk management, audit techniques, internal controls, audit principles. • Strong skills in conducting risk assessments and a solid understanding of business and financial markets. • Self starter with good leadership skills and strong organizational skills. • Ability to work collaboratively in a team environment. • Effective oral and written communication skills. • Ability to interact effectively with unit management and staff and all levels of IRMG Audit, IRMG and UB

management. • Strong knowledge of word processing, spreadsheet and related software applications. • Working knowledge of data analytics software and tools. • Candidate must not have travel restrictions, although travel typically does not exceed 25%.

Candidates can apply directly to our website at www.unionbank.com/careers and/or send their resumes directly to [email protected].

Note from the Chairman of the Employment Committee

Placing a Job Opening Advertisement

FY 2010 Officers and Operating Committees

JOB POSTING FEES – Free

FILE FORMAT

The file should be no more than one 8 1/2" x 11" sheet (one page, letter size) in Microsoft Word format. Please

email the file to the OC IIA Newsletter Editor Sharon Kuo at

Medrano at [email protected]

We are currently forwarding job openings in a blind carbon copy (BCC) email to members, who

have requested that service.

employers and recruiters out there who do e

our newsletters.

member & would like

however, forward any member's resume to companies nor does he contact any company on

behalf of any member.

President David Barton

(714) 369-5770

Vice-President (1st VP) Denise Gorman

(949) 683-0792

Vice-President / Community Outreach (2nd VP)

Julie Lathrop

(949)-437-0241

Treasurer

Tiffany Bui

[email protected]

Assistant Treasurer

Anh Vu

(714) 595-9282

Secretary

Jane Diaz

(714) 257-3825

2010 IIA Western Regional Conference Committee Jason James

(949) 903-2524

Employment Chair Rick Neisser

(949) 903-4915

Website

Priscilla Medrano

[email protected]

om

Newsletter & Advertising Sharon Kuo

(714) 623-0695

Meeting ArrangementsSanjeev Tak

(714) 885-1061

CAE Roundtable ChairReid Griffin

(949) 293-6325

Research & CAP CommitteeJason Chiang

(760) 525-9532

Community ServiceDavid Hess

(949) 885-1560

Membership Committee Chair

Jason James

(949) 903-2524

Membership Committee


have requested that service.

employers and recruiters out there who do e

our newsletters.

member & would like to be



Please email Rick if your firm has any openings that can be passed along to our mem

would be appropriate for us to contact your HR department & establish a relationship, please let us know.

desiring to advertise job openings in the monthly newsletter and on the website may do

following section for details & encourage your firm or company to advise us of openings even if they choose not to advertise.

Thank you.

Chairman of the Employment Committee

Placing a Job Opening Advertisement

2010 Officers and Operating Committees


email the file to the OC IIA Newsletter Editor Sharon Kuo at [email protected] a

[email protected]


have requested that service. This service is offered to members at no charge.

employers and recruiters out there who do e-mail us of openings but choose not to advertise in

our newsletters. You can e-mail Rick Neisser at [email protected] if you are a

member & would like to be notified of job openings as Rick receives them.



Priscilla Medrano

[email protected]

Newsletter & Advertising

Meeting Arrangements

CAE Roundtable Chair

Research & CAP Committee

Community Service

Committee

Membership Committee

Past President

Ofelia Tamayo

(714) 816-9578

Governor Alan Phillips

(818) 871-3263

Paul Zalle

(949) 206-1149

Sam Wilson

(949) 278-7705

John Swoboda

(714) 885-1060

Kevin Wijayawickrama

(714) 436-7215

Francisco Barragan

(714) 605-2544

Ofelia Tamayo

(714) 816-9578

Susan Fothergill

(714) 834-2475

Academic Relations

Sally Foroughi

(714) 436-7238

Community Outreach

Julie Lathrop

(949) 437-0241

Attendance / Registration Co-Chair

April Smith

(714) 436-7486

Alice Ho

(714) 436-7485

Programs CommitteeChairman

Anthony Manarang

(949) 306-1369

Programs Committee

Dean Lee

[email protected]

Bahar Saleem

[email protected]

Ryan Ashlock

[email protected]

Barnaby Wang

[email protected]

Jane Diaz

(714) 257-3825


have requested that service. This service is offered to members at no charge.

employers and recruiters out there who do e-mail us of openings but choose not to advertise in

our newsletters. You can e-mail Rick Neisser at [email protected] if you are a

member & would like to be notified of job openings as Rick receives them.



Please email Rick if your firm has any openings that can be passed along to our members seeking opportunities.

would be appropriate for us to contact your HR department & establish a relationship, please let us know.

desiring to advertise job openings in the monthly newsletter and on the website may do so for small fee. Please see the


9

Chairman of the Employment Committee

2010 Officers and Operating Committees


and Web Master Priscilla


offered to members at no charge. There are

mail us of openings but choose not to advertise in

mail Rick Neisser at [email protected] if you are a

to be notified of job openings as Rick receives them. Rick does not,


Chair

Programs Committee

Anthony Manarang

Programs Committee

[email protected]

[email protected]

[email protected]

[email protected]


ed to members at no charge. There are

mail us of openings but choose not to advertise in

mail Rick Neisser at [email protected] if you are a

notified of job openings as Rick receives them. Rick does not,


bers seeking opportunities. If you feel it

would be appropriate for us to contact your HR department & establish a relationship, please let us know. Also, any company

so for small fee. Please see the


Nominating Committee Chair Susan Fothergill

714) 834-2475

Nominating Committee

Rick Neisser

(949) 903-4915

Auditor

Tanuja Murgai

(949) 437-0384

Community Service Committee

David Hess

(949) 885-1560

iia newsletter feb 2011 draft v 2 2 county/news... · 2012. 4. 17. · cpe credit: 1.0 hour...

Documents